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Stock Market & Financial Investment News

News Breaks
July 29, 2014
06:11 EDTUBSUBS says 'responding to inquiries' on dark pools
UBS says it is responding to inquiries concerning the operation of UBSís alternative trading system and its securities order routing and execution practices from various authorities, including the SEC, the New York Attorney General and Finra, who reportedly are pursuing similar investigations industry-wide. These inquiries include an SEC investigation that began in early 2012 concerning features of UBSís ATS, including certain order types and disclosure practices that were discontinued two years ago. UBS is co-operating in these matters. In addition, UBS is among dozens of defendants, including broker dealers, trading exchanges, high-frequency trading firms, and dark pool sponsors, named in putative class actions pending in New York federal court, which have been filed on behalf of purchasers and sellers of equity securities. The lawsuits allege principally that the defendantsí equities order handling practices favored high-frequency trading firms at the expense of other market participants, in violation of the federal securities laws.
News For UBS From The Last 14 Days
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September 16, 2014
14:44 EDTUBSVirginia AG files $1.15B lawsuit against banks that sold RMBS during crisis
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September 15, 2014
11:09 EDTUBSRadioShack rises after CFO resigns, analyst suggests Amazon should buy stores
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09:59 EDTUBSOn The Fly: Analyst Downgrade Summary
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08:36 EDTUBSUBS downgraded to Equal Weight from Overweight at Barclays
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07:49 EDTUBSDOJ, FBI 'flip' bank informants as part of forex probe, WSJ says
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September 11, 2014
07:24 EDTUBSUBS to hold a conference
Global Paper & Forest Products Conference to be held in New York on September 11 with webcasted company presentations to begin at 8:30 am; not all company presentations may be webcasted. Webcast Link
September 5, 2014
07:18 EDTUBSRegulators drafting flexible 'bail in' bond deal for large banks, Reuters says
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06:22 EDTUBSUBS, Barclays postpone hiring due to stricter background checks, Bloomberg says
UBS (UBS) and Barclays (BCS) have decreased their job opportunities and postponed start dates in response to some banks strengthening background examinations, after past offenses increased the need for more investigative research on the behavior of individuals, according to Bloomberg, citing three people with knowledge of the situation. Reference Link

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